0001209191-11-030681.txt : 20110524 0001209191-11-030681.hdr.sgml : 20110524 20110524161430 ACCESSION NUMBER: 0001209191-11-030681 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110520 FILED AS OF DATE: 20110524 DATE AS OF CHANGE: 20110524 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LINDNER CARL H III CENTRAL INDEX KEY: 0000942082 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13653 FILM NUMBER: 11868212 MAIL ADDRESS: STREET 1: 14TH FLOOR PROVIDENT TOWER STREET 2: ONE EAST FOURTH STREET CITY: CINCINNATI STATE: OH ZIP: 45202 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN FINANCIAL GROUP INC CENTRAL INDEX KEY: 0001042046 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 311544320 STATE OF INCORPORATION: OH FISCAL YEAR END: 1208 BUSINESS ADDRESS: STREET 1: ONE EAST FOURTH STREET STREET 2: SUITE 919 CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5135792121 MAIL ADDRESS: STREET 1: ONE EAST FOURTH STREET STREET 2: SUITE 919 CITY: CINCINNATI STATE: OH ZIP: 45202 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN FINANCIAL GROUP HOLDINGS INC DATE OF NAME CHANGE: 19970709 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2011-05-20 0 0001042046 AMERICAN FINANCIAL GROUP INC AFG 0000942082 LINDNER CARL H III ONE EAST FOURTH STREET CINCINNATI OH 45202 1 1 0 0 Co-CEO & Co-President Common Stock 2011-02-04 5 G 0 E 15972 0.00 D 2714850 I #1 Common Stock 2011-05-20 4 M 0 40883 20.0067 A 2789266 I #1 Common Stock 2011-05-20 4 S 0 40883 35.3916 D 2748383 I #1 Common Stock 35859 I #2 Common Stock 1468500 I #12 Common Stock 176166 I #21 Common Stock 113091 I #22 Common Stock 146659 I #25 Common Stock 1850924 I #26 Common Stock 77671 I #27 Employee Stock Option Exercise 20.0067 2011-05-20 4 M 0 40883 0.00 D 2014-02-27 Common Stock 40883 41617 D Indirect #1: CHL III, TTEE (or his Successors) of the Carl H. Lindner III Family Trust DTD 8/29/02 as Amended. (c3) On March 31, 2011, Indirect #26 transferred 33,533 shares of AFG common stock to Indirect #1. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.34 to $35.44, inclusive. The reporting person undertakes to provide to American Financial Group, Inc., ("AFG"), any security holder of AFG, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. Indirect #2: Martha S. Lindner, (or her Successor) o the Martha S. Lindner Family Trust DTD 8/30/02 as amended. (c3) Indirect #12: CHL Investments, LLC (c3) Indirect #21: Doug Marcian, TTEE MBL Trust Dtd 10/26/05. (c3) Indirect #22: Doug Marcian, TTEE GD Trust Dtd 10/26/05. (c3) On March 10, 2011, Indirect #25 transferred 75,000 shares of AFG common stock to Indirect #27. Indirect #25: Lou Ann Flint TTEE MBL 2009 Consolidation Trust DTD 12/22/09. Indirect #26: CHL III 2010-1 Qualified Annuity Trust DTD 4/9/10. Indirect #27: Lou Ann Flint TTEE MBL 2009 Trust DTD 4/13/2009. These Employee Stock Options ("Options") become exercisable as to 20% of the shares initially granted on the first anniversary of the date of grant, with an additional 20% becoming exercisable on each subsequent anniversary. The Options were granted under the Issuer's Stock Option Plan pursuant to Rule 16b-3. Carl H. Lindner III By: Karl J. Grafe, as Attorney-in-Fact 2011-05-24